Melissa L. Glennie

CAPITAL MANAGEMENT ASSOCIATES

Minneapolis, MN 55431-1120

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CRD#: 2221936

Professional summary

Melissa Leah Glennie, who also goes by Melissa Leah Giesen, is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Melissa has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 28, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melissa Leah Giesen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FPA of MN - Board of Directors (board member) - 4 hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Leah Glennie's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 13, 2014 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

Office #1: 7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

RIA

CRD#: 105010

Minneapolis, MN

Current

April 23, 1998 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Avenue South Suite 500, Minneapolis, MN 55431Office #4: 3701 Hwy 60 West, Faribault, MN 55021

CRD#: 10579

Minneapolis, MN

Past

May 21, 1997 - April 22, 1998

WIC CORP.

CRD#: 17510

MINNEAPOLIS, MN

Past

September 27, 1995 - May 20, 1997

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579

MINNEAPOLIS, MN

Past

February 6, 1995 - July 20, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

April 22, 1994 - January 13, 1995

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

MINNEAPOLIS, MN

Past

November 26, 1993 - April 21, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(12/5/2019)

California
(1/3/2012)

Colorado
(2/23/2009)

Florida
(1/3/2012)

Georgia
(1/3/2012)

Indiana
(4/30/2004)

Maryland
(1/3/2012)

Massachusetts
(1/3/2012)

Michigan
(1/3/2012)

Minnesota
(4/23/1998)

IAR

Minnesota
(1/13/2014)

New York
(1/3/2012)

Ohio
(1/3/2012)

Pennsylvania
(1/3/2012)

Texas
(2/11/2019)

Virginia
(11/23/2020)

Washington
(1/3/2012)

Wisconsin
(1/3/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/27/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 11/17/2008

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/26/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/11/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/2/1998

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

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Contact information

Main Address

7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

Mailing Address

Phone number

(952) 893-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 1,627,864,626

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Melissa L. Glennie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Leah Glennie's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL MANAGEMENT SECURITIES, INC.

WIC CORP.

CAPITAL MANAGEMENT SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

MILLER JOHNSON STEICHEN KINNARD, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAPITAL MANAGEMENT ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/2001

Series 63

Date: 12/17/1993

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/24/1993

Series 14

Date: 1/2/2023

Series 28

Date: 11/17/2008

Series 53

Date: 6/26/2002

Series 24

Date: 8/11/1998

Series 4

Date: 6/2/1998

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT ASSOCIATES INC

TRUST BUT VERIFY

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